Mark J. Leja
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark J Leja, CFA was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2000. Mark had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2013 - August 15, 2013
GNV ADVISORS, LLC
December 10, 2012 - August 15, 2013
GENEVA ADVISORS, LLC
June 1, 2009 - May 9, 2011
MORGAN STANLEY
June 1, 2009 - May 9, 2011
MORGAN STANLEY
September 11, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 18, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 11, 2002 - May 12, 2004
CITICORP INVESTMENT SERVICES
December 21, 2000 - August 15, 2001
TD AMERITRADE, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GNV ADVISORS, LLC
CRD#: 147286 / SEC#: , 8-67894
Contact information
Documents
Direct owners and executive officers
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
